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For Companies At a Glance
- Tasks: Lead regulatory compliance and provide expert support in risk management.
- Company: Join NatWest Markets, a leading financial services provider.
- Benefits: Enjoy opportunities for professional growth and development.
- Why this job: Gain exposure to high-level stakeholder relationships and impactful regulatory work.
- Qualifications: Strong financial services experience, preferably in banking and conduct risk.
- Other info: Ideal for those looking to make a difference in compliance and risk management.
The predicted salary is between 43200 - 72000 £ per year.
Join us as a Conduct & Compliance Associate in NatWest Markets. We’ll look to you to lead regulatory compliance and conduct insight, oversight and challenge. You’ll be providing expert support, advice, MI and escalation to leaders and the business on risk management. This is an opportunity to gain exposure as you own stakeholder relationships to make sure there’s an early understanding and buy-in of conduct risk appetite activity.
As a Compliance Lead, you’ll be supporting executives in making sure that the business strategy for NatWest Markets Sales & Trading is consistent with and supports an effective regulatory framework. You’ll also be supporting executives on regulatory engagement with the FCA in relation to relevant matters relating to customer franchises and business units.
On top of this, you’ll be:
- Mitigating the risk of legal or regulatory sanctions, material financial loss and reputational harm.
- Providing critical analysis and independent challenge, on the function’s strategy, and approach to defining and measuring the conduct risk appetite.
- Interrogating and assessing function structures and providing strategic regulatory advice through a focus on customer outcomes and regulatory expectations.
- Providing technical advice on the interpretation of regulatory rules applicable to the function and their impact on the operating model.
The skills you’ll need:
- Strong financial services experience, preferably in banking and regulated firms in the conduct risk environment.
- Broad technical knowledge of products, services and regulations relevant to a large retail and wholesale bank.
- Knowledge and experience of providing regulatory and technical support and advice to senior management.
- The ability to analyse, understand and draw sound conclusions from a wide range of sources and information including MI.
- A track record in effective senior stakeholder management, with relevant experience in a compliance or conduct risk related discipline.
- Experience in, and the ability to have, challenging conversations with stakeholders to reach agreed positions, with a proven strength in influencing and negotiation skills.
- The proven ability to think strategically and to simplify complex conduct matters to make sure they are effectively managed, understood and communicated.
Conduct & Compliance Associate, NatWest Markets employer: CV-Library
Contact Detail:
CV-Library Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Conduct & Compliance Associate, NatWest Markets
✨Tip Number 1
Familiarise yourself with the latest regulatory frameworks and compliance standards relevant to NatWest Markets. This will not only help you understand the role better but also allow you to engage in informed discussions during interviews.
✨Tip Number 2
Network with professionals already working in compliance roles within financial services. Attend industry events or webinars to gain insights and potentially make connections that could lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed stakeholder relationships in the past. Highlight your experience in conducting risk assessments and how you've influenced decision-making processes.
✨Tip Number 4
Stay updated on current trends and challenges in the banking sector, particularly those related to conduct risk. Being knowledgeable about recent developments will demonstrate your commitment and readiness for the role.
We think you need these skills to ace Conduct & Compliance Associate, NatWest Markets
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in financial services, particularly in compliance and conduct risk. Use specific examples that demonstrate your ability to manage stakeholder relationships and provide regulatory support.
Craft a Strong Cover Letter: In your cover letter, express your understanding of the role and how your skills align with the responsibilities outlined in the job description. Mention your experience with regulatory frameworks and your ability to analyse complex information.
Highlight Relevant Skills: Emphasise your analytical skills and experience in providing technical advice. Showcase your ability to engage with senior management and your track record in stakeholder management, as these are crucial for the role.
Proofread Your Application: Before submitting, carefully proofread your application for any errors or inconsistencies. A well-presented application reflects your attention to detail, which is essential in compliance roles.
How to prepare for a job interview at CV-Library
✨Understand Regulatory Frameworks
Familiarise yourself with the key regulatory frameworks relevant to NatWest Markets. Be prepared to discuss how these regulations impact the business strategy and your approach to compliance.
✨Showcase Stakeholder Management Skills
Highlight your experience in managing senior stakeholders effectively. Prepare examples of challenging conversations you've had and how you influenced outcomes positively.
✨Demonstrate Analytical Thinking
Be ready to showcase your ability to analyse complex information and draw sound conclusions. Consider preparing a case study or example where your analysis led to a significant decision or change.
✨Prepare for Technical Questions
Expect questions on the interpretation of regulatory rules and their implications. Brush up on your technical knowledge of products and services, and be ready to explain how they relate to conduct risk.
